Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Under Pressure, LPL Cuts Fees on Corporate RIA Platform
By Janet LevauxThe news comes on the heels of more departures of reps acquired from LPL's purchase of NPH.
November 03, 2017
Raymond James' RIA Unit Is on a RollThe unit boosts assets 36%, topping overall AUM growth for the firm's private client group.
November 02, 2017
Platform by cleverDome Would End VPNs, Shift Data to Trusted NetworkAt t3 conferernce, cleverDome says it would eliminate the need for VPNs, seeking to move financial data off the open internet.
November 02, 2017
Woodbury Adds $2B OSJ, RBC Picks Up $1B Teams: Recruiting RoundupPlus, Raymond James, Baird, Kestra and other firms announce their latest hires.
November 01, 2017
Questions Arise on Broker Protocol Manager as Morgan Stanley ExitsThe law firm in charge of the agreement has powerful clients who are signatories, which could cause conflicts, two attorneys say.
October 30, 2017
How Advisors Really Use Morningstar Fund RatingsA recent Wall Street Journal investigation found the ratings have a limited value, but most advisors already knew that.
October 30, 2017
How to Think Outside the ‘Black Box’ on Succession PlanningTo boost their practice valuations, advisors must focus on translating prospective improvements into reality, according to Truelytics Kevin Connor.
October 30, 2017
What Morgan Stanley’s Broker Protocol Exit Means for AdvisorsMorgan Stanley says the accord has become unsustainable; a recruiter says the policy change could make it harder for advisors to leave.